EX-99.77O RULE 10F-3 3 msincomesecurities10f3.txt 10F-3 MORGAN STANLEY INCOME SECURITIES INC. ITEM 77(O) 10F-3 TRANSACTIONS APRIL 1, 2010 - SEPTEMBER 30, 2010
AMOUNT OF % OF % OF OFFERING TOTAL SHARES OFFERING FUNDS SECURITY PURCHASE/ SIZE OF PRICE OF AMOUNT OF PURCHASED PURCHASED TOTAL PURCHASED TRADE DATE OFFERING SHARES OFFERING BY FUND BY FUND ASSETS BROKERS PURCHASED FROM -------------- ---------- -------- -------- ----------------- ------------ --------- ------ ----------------- -------------- Southern 04/13/10 -- $ 99.481 $400,000,000.00 165,000.00 0.04% 0.10% Credit Suisse, Credit Suisse Copper Corp Goldman Sachs & Securities 5.375% Due Co, Morgan 4/16/2020 Stanley, BBVA Securities BofA Merrill Lynch Biomed Realty 04/22/10 -- $ 98.977 $250,000,000.00 160,000.00 0.06% 0.10% Wells Fargo Wachovia Lp 6.125% due Securities, Securities 4/15/2020 Credit Suisse, Deutsche Bank Securities, KeyBanc Capital Markets, Morgan Stanley, Raymond James, RBC Capital Markets, RBS, UBS Investment Bank, US Bancorp NBC Universal 04/27/10 -- $ 99.845 $2,000,000,000.00 440,000.00 0.02% 0.28% Goldman, Sachs & JP Morgan Inc. 5.150% Co., J.P. due 4/30/2020 Morgan, Morgan Stanley, BofA Merrill Lynch, Citi, Barclays Capital, BNP Paribas, Credit Suisse, Deutsche Bank Securities, Mitsubishi UFJ Securities, RBS, UBS Investment Bank, Mitsubishi UFJ Securities, Wells Fargo Securities, Blaylock Robert Van, LLC, CastleOak Securities, L.P., Loop Capital Markets, LLC, Ramirez & Co., Inc., The Williams Capital Group, L.P.
Discovery 05/26/10 -- $ 99.675 $1,300,000,000.00 385,000.00 0.03% 0.25% Citi, J.P. JP Morgan Communications Morgan, BofA Securities, LLC 5.050% Merrill Lynch, Inc. due 6/1/2020 Credit Suisse, RBS, Barclays Capital, BNP Paribas, Credit Agricole CIB, Goldman, Sachs & Co., Morgan Stanley, RBC Capital Markets, Scotia Capital, SunTrust Robinson Humphrey, Wells Fargo Securities Pall corp. 06/15/10 -- $ 99.465 $ 375,000,000.00 295,000.00 0.08% 0.19% BofA Merrill Banc of 5.000% due Lynch, J.P. America 6/15/2020 Morgan, HSBC Securities Securities (USA), Wells Fargo Securities, Daiwa Capital Markets America, Mitsubishi UFJ Securities (USA), ANZ Securities, Banca IMI, BNP Paribas, Commerzbank, ING Prudential 06/16/10 -- $ 99.390 $ 650,000,000.00 230,000.00 0.03% 0.15% Citi, J.P. JP Morgan Financial Morgan, Wells Inc. 5.375% Fargo due 6/21/2020 Securities, BNY Mellon Capital Markets, LLC, Mitsubishi UFJ Securities, Nikko Bank (Luxembourg) S.A., Cabrera Capital Markets, LLC, Loop Capital Markets, Siebert Capital Markets
Digital 06/30/10 -- $ 99.697 $ 375,000,000.00 455,000.00 0.12% 0.29% Citi, BofA Credit Suisse Realty Trust Merrill Lynch, Securities LP 4.500% due Credit Suisse, 7/15/2015 Morgan Stanley, Deutsche Bank Securities, J.P. Morgan, RBS LaFarge SA 07/06/10 -- $ 99.914 $ 550,000,000.00 775,000.00 0.14% 0.49% Barclays Barclays 5.500% due Capital, J.P. Capital 7/9/2015 Morgan, Deutsche Bank Securities, Mitsubishi UFJ Securities, Mizuho Securities USA Inc., RBS, UBS Investment Bank Time Warner 07/07/10 -- $ 99.762 1,000,000,000.00 180,000.00 0.02% 0.11% Barclays J.P. Morgan Inc. 4.700% Capital, Citi, Securities, due 1/15/2021 J.P. Morgan, Inc. Wells Fargo Securities, BofA Merrill Lynch, BNP Paribas, Deutsche Bank Securities, Goldman, Sachs & Co., Morgan Stanley, RBS, BNY Mellon Capital Markets, LLC, Credit Agricole CIB, Credit Suisse, Daiwa Capital Markets, Hadnelsbanken Capital Markets, Lloyds TSB Corporate Markets, Mitsubishi UFJ Securities, Mizuho Securities USA Inc., Ramirez & co., Inc., Santander, Scotia Capital, The Williams Capital Group, L.P., UBS Investment Bank
Expedia Inc. 08/02/10 -- $ 99.893 $ 750,000,000.00 375,000.00 0.05% 0.23% BofA Merrill J.P. Morgan 5.950% due Lynch, J.P. Securities, 8/15/2020 Morgan, Barclays Inc. Capital, BNP Paribas, RBS, Daiwa Capital Markets, Mitsubishi UFJ Securities, Mizuho Securities USA Inc., US Bancorp Omnicom Group 08/02/10 -- $ 99.654 $1,000,000,000.00 280,000.00 0.03% 0.17% J.P. Morgan, J.P. Morgan Inc. 4.450% BofA Merrill Securities, due 8/15/2020 Lynch, Citi, Inc. Deutsche Bank Securities, HSBC, Barclays Capital, Wells Fargo Securities, BNP Paribas, Morgan Stanley, Societe Generale, UBS Investment Bank, ANZ Securities, Banca IMI, BBVA Securities, RBS DirecTV 08/10/10 -- $ 99.934 $1,000,000,000.00 1,305,000.00 0.13% 0.80% Citi, J.P. J.P. Morgan Holdings LLC Morgan, Credit Securities, 4.600% due Suisse, Goldman, Inc. 2/15/2021 Sachs & Co., BofA Merrill Lynch, Barclays Capital, Mitsubishi UFJ Securities, Morgan Stanley, UBS Investment Bank, Credit Agricole CIB, HSBO, ING Wholesale, Lloyds TSB Corporate Markets, Mizuho Securities USA Inc., RBS, U.S. Bancorp
QEP Resources 08/11/10 -- $ 99.074 $ 625,000,000.00 275,000.00 0.04% 0.17% Deutsche Bank Deutsche Bank Inc. 6.875% Securities, BofA Securities due 3/1/2021 Merrill Lynch, BMO Capital Markets, J.P. Morgan, Wells Fargo Securities, SunTrust Robinson Humphrey, U.S. Bancorp, Mitsubishi UFJ Securities, BBVA Securities, RBS, TD Securities, Societe Generale, Goldman, Sachs & Co. Ingram Micro 08/16/10 -- $ 99.998 $ 300,000,000.00 505,000.00 0.17% 0.31% BofA Merrill Banc of Inc. 5.250% Lynch, Morgan America due 9/1/2017 Stanley, BNP Securities Paribas, Mizuho Securities USA Inc., Raymond James, RBS, Scotia Capital, UBS Investment Bank